GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill (SEC Release)

Justice Department Announces Additional Distribution of more than $488 Million to Victims of Madoff Ponzi Scheme (DOJ Release)

Sweden Explores Moving to a Digital Currency (Bloomberg by Rafaela Lindeberg and Ott Ummelas)

PayPal-backed fintech start-up Tink valued at more than $800 million after fresh funding (CNBC by Ryan Browne)

Liberty's Loss (Remarks to The Federalist Society's Capital Conversations: A Teleforum Series by SEC Commissioner Hester M. Peirce)

Maintaining Over $100 in Savings Linked to Increased Likelihood of Financial Stability in Lower Income Households (FINRA Release)

In the Matter of Nicholas G. Baecker, Respondent (FINRA AWC)

Federal Trade Commission, Plaintiff, v. Facebook, Inc., Defendant 

Plaintiff States v. Facebook, Inc.

General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations (SEC Release)

Former Founder And CEO Of Nanotechnology Company Charged In Manhattan Federal Court In Connection With Multimillion-Dollar Securities Fraud Scheme / James Jeremy Barbera Charged with Defrauding Investors Out of Approximately $12.2 Million (DOJ Release)

SEC Charges Technology Company, Former CEO, and Stock Promoter with Fraud (SEC Release)

Cryptocurrency Founder "Bruno Block" Charged With Multimillion-Dollar Tax Evasion Scheme (DOJ Release)

SEC Charges Individual for Self-Minting Scam and Unregistered ICO (SEC Release)

Greenwich Resident Charged with Federal Offenses Stemming from Alleged Investment Fraud Scheme (DOJ Release)

Former Chief Operating Officer Who Defrauded Asset Management Company And Its Clients Sentenced To 3 Years In Prison (DOJ Release)

Global Securities Pricing Service to Pay $8 Million for Compliance Failures (SEC Release)

Five Defendants in a Microcap Fraud Scheme Attempting to Capitalize On the Covid-19 Pandemic Ordered to Pay Over $12 Million (SEC Release)

Defendant Sentenced in $25 Million Diamond Ponzi Scheme (DOJ Release)

SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data / Fosters a competitive environment for core components of the national market system for the first time (SEC Release)

Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS by SEC Chairman Jay Clayton

Roadwork Ahead: Upgrading Market Data Infrastructure (Statement by SEC Commissioner Allison Herren Lee)

Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS by SEC Commissioner Elad L. Roisman

Market Data Infrastructure: Open Meeting Statement by SEC Commissioner Hester Peirce

Statement on Market Data Infrastructure by SEC Commissioner Caroline A. Crenshaw

Interactive Brokers, Robinhood glitches send users scrambling (Reuters)

Day Traders Roiled By Interactive Brokers, Robinhood Outages (Bloomberg)

Outrageous Romance Scam Earns Even More Outrageous Sentence (BrokeAndBroker.com Blog)

Texas Man Pleads Guilty to Felony in $375,000 Investment Scheme (DOJ Release)

SEC Obtains Final Judgment Against Company for Misleading Covid-19-Related Claims (SEC Release)

DISH Network to Pay $210 Million for Telemarketing Violations / DISH to pay historic civil penalty in a telemarketing enforcement action (DOJ Release)

Merrill to pay $26 million to New Hampshire, former NH Governor to settle churning allegations (CNBC)

Cameroonian Operator Charged in Fraudulent Online "Puppy Scam" that Exploited the COVID-19 Pandemic

SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million (SEC Release)

In the Matter of Mizuho Securities USA LLC, Respondent (FINRA AWC)

Schemes from a California Restaurant (BrokeAndBroker.com Blog)

Husband, Wife Sentenced in $15 Million Embezzlement Scheme (DOJ Release)

Indian Trail Man Pleads Guilty To Wire Fraud For Investment Scheme / The Defendant Admitted to Defrauding at Least 10 Victims of more than $385,000 (DOJ Release)

New Jersey Attorney Sentenced to 18 Years in Prison for Money Laundering as Part of Embezzlement Scheme (DOJ Release)

Bakersfield Man Indicted for Unauthorized Transfers of more than $450,000 from A Victim's Bank Account to a Brokerage Account He Controlled (DOJ Release)